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19/05 Rajeev
HR Head at Arin Consultancy

Views:356 Applications:81 Rec. Actions:Recruiter Actions:14

Manager - Compliance & Secretarial - AMC (3-8 yrs)

Mumbai Job Code: 1262525


The position responsibilities would include ensuring compliance with Companies Act, SEBI (Mutual Funds) Regulations, Portfolio Management Services (PMS) and corporate governance norms through proper reporting and filing of information, while also handling queries from internal departments and regulators and managing coordination for statutory / internal meetings.

Note: We want candidates from AMC background only.


- Vetting of SID/SAI of all new schemes

- Product vetting /Product compliance related tasks

- Vetting of marketing material /advertisements.

- Preparation and submission of addendums/notices.

- Reporting for all SEBI related queries and advises

- Regulatory reporting to SEBI/other regulators/entities and Boards.

Review of Legal Agreements :

- Renewal of mandatory/regulatory Licenses

- Suspicious Transaction reporting

- Stock Exchange Listing compliances

- Other activities related to regulatory requirements from time to time & conducting of Board & General Body meetings.

- Ensure that a company follows the necessary laws and regulatory requirements for their industry.

- Ability to Coordinate with functions to ensure adherence to all Compliance related guidelines

- Ability to make informed proposals for any extant/future guidelines implications

- Ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the Board are implemented

- Responsibility to ensure that the company and its directors operate within the regulations

- Governance structures and mechanisms, corporate conduct within an organization's regulatory environment, effectively conduct board, shareholder and trustee meetings, compliance with legal, regulatory and listing requirements

- Contact with regulatory and external bodies, communicate requisite reports and circulars to shareholders/trustees, management

- Compliance under Portfolio Management Services (PMS)

- Advice on the conduct of business and this can span everything from legal advice on conflicts of interest.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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